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Showing 141 - 150 of 248 results for "Exchange Commission"

ASIC grilled on whistleblower compensation

LAURA MILLAN  |  MONDAY, 9 NOV 2015
... those individuals who are responsible are dealt with," Medcraft said. At the same time, the US Securities and Exchange Commission (SEC) announced an award of $325,000 for a former investment firm employee who tipped the regulator with information that ...

FSI panellist challenges ASIC register sale

ALEX BURKE  |  WEDNESDAY, 23 SEP 2015
... be] available free of charge to users." This would potentially result in a system like the US Securities and Exchange Commission's Electronic Data Gathering, Analysis, and Retrieval (EDGAR) database, which can be accessed freely online by the public. ...

Hedge funds face brain drain

LAURA MILLAN, MARK SMITH  |  MONDAY, 24 AUG 2015
... Quantum business from a hedge fund to a family office. In doing so he escaped the scrutiny of the Securities and Exchange Commission. Brown thinks the move has opened the floodgates and other managers will follow. He expressed concern that the trend ...

SEC adviser exams could cost US$310m

ALEX DUNNIN  |  MONDAY, 8 SEP 2014
... would apply to firms managing more than US$100 million which are registered directly with the Securities and Exchange Commission (SEC). Firms with less than this threshold in funds under management are normally registered through State authorities and ...

SEC bestow first whistleblowers awards

ALEX DUNNIN  |  THURSDAY, 4 SEP 2014
... executive office dedicated to supporting them and even bestow awards on whistleblowers. The US Securities Exchange Commission (SEC) has just announced the recipient of a US$300,000 Whistleblower Award to Audit and Compliance Professional Who Reported ...

CBA appoints international experts to oversee advice program

LAURA MILLAN  |  MONDAY, 11 AUG 2014
... supervising the majority of US banking assets. Schapiro served as the 29th chair of the US Securities and Exchange Commission from 2009 - 2012. The Open Advice Review program was set up after media reports and a Senate Economics Committee inquiry unveiled ...

Buffett discloses new Verizon investment

AAP  |  FRIDAY, 16 MAY 2014
... the changes to its $US106 billion ($A114.69 billion) portfolio in documents filed with the Securities and Exchange Commission that show what the company owned at the end of March. The Verizon investment was the only new one disclosed. Berkshire bought ...

US fight over adviser fiduciary rules nears end

ALEX DUNNIN  |  THURSDAY, 17 APR 2014
... retreated back to just improved disclosure rules. The Wall Street Journal has reported that the US Securities Exchange Commission (SEC) is soon to announce its final position on the long run argument over what the new fiduciary rules for brokers and ...

SEC reopens target date funds disclosure review

ALEX DUNNIN  |  WEDNESDAY, 9 APR 2014
The US Securities Exchange Commission (SEC) has reopened its review into enhanced disclosure regulations for target date funds, a sector that they believe is very difficult for investors to compare. The review was launched following recommendations ...

FBI launches probe into high speed traders

MARK SMITH  |  THURSDAY, 3 APR 2014
... high frequency trading (HFT) firms are involved in insider trading. According to reports, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission are looking into ties between high-speed traders and major exchanges ...